12th Jan 2015 10:43
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | Morgan Stanley & Co. International plc |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Aviva Plc |
(c) Name of the party to the offer with which exempt principal trader is connected:
| Aviva Plc |
(d) Date dealing undertaken: | 09 JANUARY 2015 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | Yes |
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security | Purchases/sales | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
25p ordinary | PURCHASES | 115,890 | 4.8850 GBP | 4.8850 GBP |
25p ordinary | SALES | 115,890 | 4.8850 GBP | 4.8850 GBP |
(b) Derivatives transactions (other than options)
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
25p ordinary | CFD | LONG | 115,890 | 4.8850 GBP |
25p ordinary | CFD | LONG | 519 | 4.8875 GBP |
25p ordinary | CFD | LONG | 1,141 | 4.8875 GBP |
25p ordinary | CFD | LONG | 94 | 4.8878 GBP |
25p ordinary | CFD | LONG | 1,037 | 4.8900 GBP |
25p ordinary | CFD | LONG | 146 | 4.8916 GBP |
25p ordinary | CFD | LONG | 1,761 | 4.8920 GBP |
25p ordinary | CFD | LONG | 489 | 4.8926 GBP |
25p ordinary | CFD | LONG | 659 | 4.8926 GBP |
25p ordinary | CFD | LONG | 10,139 | 4.8926 GBP |
25p ordinary | CFD | LONG | 5,625 | 4.8926 GBP |
25p ordinary | CFD | LONG | 108,288 | 4.8926 GBP |
25p ordinary | CFD | LONG | 5,745 | 4.8926 GBP |
25p ordinary | CFD | LONG | 3,146 | 4.8926 GBP |
25p ordinary | CFD | LONG | 500 | 4.8926 GBP |
25p ordinary | CFD | LONG | 36,832 | 4.8929 GBP |
25p ordinary | CFD | LONG | 903 | 4.8950 GBP |
25p ordinary | CFD | LONG | 35,829 | 4.8968 GBP |
25p ordinary | CFD | LONG | 33,891 | 4.8968 GBP |
25p ordinary | CFD | LONG | 9,428 | 4.8968 GBP |
25p ordinary | CFD | LONG | 49,272 | 4.8968 GBP |
25p ordinary | CFD | LONG | 913 | 4.8970 GBP |
25p ordinary | CFD | LONG | 140,000 | 4.8986 GBP |
25p ordinary | CFD | LONG | 1,953 | 4.8990 GBP |
25p ordinary | CFD | LONG | 33 | 4.8990 GBP |
25p ordinary | CFD | LONG | 928 | 4.9000 GBP |
25p ordinary | CFD | LONG | 58,956 | 4.9005 GBP |
25p ordinary | CFD | LONG | 968 | 4.9010 GBP |
25p ordinary | CFD | LONG | 891 | 4.9020 GBP |
25p ordinary | CFD | LONG | 1,016 | 4.9030 GBP |
25p ordinary | CFD | LONG | 47,102 | 4.9040 GBP |
25p ordinary | CFD | LONG | 8,549 | 4.9040 GBP |
25p ordinary | CFD | LONG | 1,792 | 4.9040 GBP |
25p ordinary | CFD | LONG | 3,446 | 4.9040 GBP |
25p ordinary | CFD | LONG | 11,700 | 4.9081 GBP |
25p ordinary | CFD | LONG | 7,178 | 4.9121 GBP |
25p ordinary | CFD | LONG | 230,833 | 4.9121 GBP |
25p ordinary | CFD | LONG | 63,000 | 4.9125 GBP |
25p ordinary | CFD | LONG | 3,187 | 4.9132 GBP |
25p ordinary | CFD | LONG | 53,608 | 4.9132 GBP |
25p ordinary | CFD | LONG | 16,223 | 4.9132 GBP |
25p ordinary | CFD | LONG | 3,926 | 4.9135 GBP |
25p ordinary | CFD | LONG | 868 | 4.9139 GBP |
25p ordinary | CFD | LONG | 828 | 4.9139 GBP |
25p ordinary | CFD | LONG | 30,948 | 4.9168 GBP |
25p ordinary | CFD | LONG | 467 | 4.9172 GBP |
25p ordinary | CFD | LONG | 765 | 4.9185 GBP |
25p ordinary | CFD | LONG | 547,600 | 4.9192 GBP |
25p ordinary | CFD | LONG | 1,841 | 4.9216 GBP |
25p ordinary | CFD | LONG | 21,659 | 4.9224 GBP |
25p ordinary | CFD | LONG | 39,573 | 4.9259 GBP |
25p ordinary | CFD | LONG | 1,422 | 4.9270 GBP |
25p ordinary | CFD | LONG | 61 | 4.9293 GBP |
25p ordinary | CFD | LONG | 56,029 | 4.9336 GBP |
25p ordinary | CFD | LONG | 57,634 | 4.9339 GBP |
25p ordinary | CFD | LONG | 8,025 | 4.9339 GBP |
25p ordinary | CFD | LONG | 9 | 4.9355 GBP |
25p ordinary | CFD | LONG | 1,665 | 4.9378 GBP |
25p ordinary | CFD | LONG | 25,816 | 4.9476 GBP |
25p ordinary | CFD | LONG | 4,693 | 4.9476 GBP |
25p ordinary | CFD | SHORT | 4,723 | 4.8870 GBP |
25p ordinary | CFD | SHORT | 803 | 4.8912 GBP |
25p ordinary | CFD | SHORT | 25,000 | 4.9000 GBP |
25p ordinary | CFD | SHORT | 16,466 | 4.9015 GBP |
25p ordinary | CFD | SHORT | 418 | 4.9018 GBP |
25p ordinary | CFD | SHORT | 66,576 | 4.9025 GBP |
25p ordinary | CFD | SHORT | 2,664 | 4.9040 GBP |
25p ordinary | CFD | SHORT | 350 | 4.9092 GBP |
25p ordinary | CFD | LONG | 213,256 | 4.9040 GBP |
25p ordinary | CFD | LONG | 4,995 | 4.9040 GBP |
25p ordinary | CFD | SHORT | 6,791 | 4.9040 GBP |
25p ordinary | CFD | SHORT | 21,415 | 4.9040 GBP |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
ADRs | CALL | PURCHASE | 500,000 | 5.0000 | A | 16/01/2015 | 0.0325 GBP |
ADRs | PUT | PURCHASE | 500,000 | 4.8000
| A | 16/01/2015 | 0.0350 GBP |
ADRs | CALL | SALE | 500,000 | 5.0000
| A | 16/01/2015 | 0.0325 GBP |
ADRs | PUT | SALE | 500,000 | 4.8000
| A | 16/01/2015 | 0.0350 GBP |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
N/A | N/A | N/A | N/A |
(d) Other dealings (including subscribing for new securities)
Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
N/A | N/A | N/A | N/A |
The currency of all prices and other monetary amounts should be stated.
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
3. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer: If there are no such agreements, arrangements or understandings, state "none" |
None
|
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state "none" |
None
|
| Date of disclosure: | 12 JANUARY 2015 |
| Contact name: | Craig Horsley |
| Telephone number: | +44(141) 245 7736 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected]. The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
Related Shares:
Aviva